Sissi Diem Ai Sondgroth

Current Employers

Robert W. Baird & Co. Incorporated

777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States

Current Registrations

Authority	Category	Status	Date
WA	RA	APPROVED	2014-11-07

WA RA
APPROVED

Since 2014-11-07

Branch Locations

601 Union Street, Suite 4700, Seattle, WA 98101 • United States

Mill Creek, WA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Robert W. Baird & Co. Incorporated	Seattle	WA	11/2014	Present

11/2014 → Present

Robert W. Baird & Co. Incorporated

Seattle, WA

Previous Registrations

2014-04-09 → 2014-11-07

Mcadams Wright Ragen, Inc.

Seattle, WA
2012-04-20 → 2014-03-24

Wells Fargo Clearing Services, Llc

Seattle, WA

Clayton, MO
2011-08-22 → 2012-04-17

Ameriprise Financial Services, Llc

Kansas City, MO
2010-10-15 → 2011-08-02

Mcadams Wright Ragen, Inc.

Seattle, WA
2007-06-28 → 2010-10-25

Wells Fargo Investments, Llc

Seattle, WA

Seattle, WA

Minneapolis, MN

Other Businesses

Name/Address: 529 Properties LLC 24325 Astor Racing Ct Valencia 91354 Start Date: 2/1/22 Hours Spent: 0-1 hours/month Hours Spent During Trading: Zero Role/Responsibility: LLC Owner/Member; Rental Property Non Investment Related

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-06-11
S63	Uniform Securities Agent State Law Examination	2006-06-19

S66 Uniform Combined State Law Examination

2007-06-11
S63 Uniform Securities Agent State Law Examination

2006-06-19

Other Names

Sissi Diem Ai Nguyen

View on SEC IAPD